Auditing and advising securities institutions

Securities institutions must comply with various regulatory requirements in the course of their business activities. The specific form of these requirements depends on the nature, scope, complexity and risk content of the business activities. We follow this principle of proportionality when auditing and advising our clients in order to keep the burden as low as possible. We use the insights gained during the audit and consultation process to support the management and supervisory bodies as a sparring partner.

Overview of services

• Audit of annual and consolidated financial statements
• Performance of the necessary audits of annual and consolidated financial statements in accordance with legal requirements, taking into account all relevant regulatory requirements.
• Audit of securities services business
• Audit of securities services business in accordance with Section 89 of the German Securities Trading Act (WpHG).
• Assumption of the audit function
• Performance of internal audit tasks within the framework of an outsourcing agreement.
• Assumption of the compliance function
• Performance of compliance function tasks within the framework of an outsourcing agreement.
• Advice on regulatory issues
• Professional support in regulatory matters.